Comment Letters

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September 30, 2016

NASAA Comments on FINRA Regulatory Notice 16-29: Gifts, Gratuities and Non-Cash Compensation Rules

September 23, 2016

NASAA Comment Letter to the SEC Regarding Investment Adviser Business Continuity and Transition Plans Rule Proposal

August 3, 2016

NASAA Comment to the SEC Regarding NYSE MKT Rule Proposal to Amend Form U5 Filing Deadline

May 25, 2016

NASAA Comment Letter to the SEC Regarding File 4-692; SEC’s “Report on the Review of the Definition of ‘Accredited Investor’”

January 20, 2016

NASAA Comment Letter to the SEC Regarding FINRA’s Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-to-Play” and Related Rules

January 15, 2016

NASAA Comment to SEC Regarding FINRA Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

January 11, 2016

NASAA Comment Letter to SEC Regarding Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings

November 30, 2015

NASAA Letter to FINRA Regarding FINRA Regulatory Notice 15-37, Financial Exploitation of Seniors and Other Vulnerable Adults

November 19, 2015

NASAA Letter to SEC Regarding Filing of a Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 5418

November 3, 2015

NASAA Letter to FinCEN Regarding Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers